Corporate Registration Officer
Compliance and Registrant Regulation Branch
Full-time contract (December 2021 – December 2022)
The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy, operational, adjudication and enforcement work. The OSC also contributes to national and global securities regulation development.
The Compliance and Registrant Regulation (CRR) Branch oversees the dealers, advisers and investment fund managers that the public relies upon when investing in securities. Using a risk-based approach, CRR focuses on initial and ongoing registration and compliance reviews of registrants. CRR also develops significant policy/legislative initiatives affecting registered firms and individuals, at both the Ontario and national levels. The branch consists of integrated, multi-disciplinary teams including professional staff (chartered accountants and lawyers), registration officers (corporate and individual), and support staff.
CRR is currently hiring for a contract full-time Corporate Registration Officer (CRO) to join their team. Reporting to the Supervisor, the CRO will:
- Review and analyze filings to assess firm business models and structure; determine proficiency and integrity of individuals at firms and make recommendations for disposition in accordance with relevant securities legislation.
- Prepare effective memos with supporting evidence to document registration suitability or escalate identified concerns for further review to other teams including the Registrant Conduct Team.
- Assess exemption applications and provide in-depth analysis to grant or refuse exemption from the proficiency requirements.
- Liaise with other OSC branches, regulators and market participants; effectively communicate decisions and registration process information to market participants.
- Participate in interviews with registrants to address concerns and provide guidance as required.
- Review changes to businesses, reorganizations and surrender of firms.
- Research and conduct relevant checks (detrimental, registration history etc.) on firms and individuals, and document findings for reports and certificates.
- Assist to improve process and procedures and suggest ways to enhance efficiency within the team.
Skills & Qualifications
- Ability to think critically and analytically, to problem-solve and to collect and organize information for presentation and memos
- Excellent oral and written communication skills with both internal and external stakeholders
- Ability to apply “Lean” principles and experience in improving and streamlining business processes
- Ability to prioritize and meet tight deadlines
- Experience in the capital markets industry and in-depth knowledge of registration matters and/or background in financial services
- Experience in a compliance or registration-related role which required familiarity with application of legislation such as the Ontario Securities Act, Commodities Futures Act or similar legislation
- An undergraduate degree
- Completion of the Canadian Securities Course or other related courses is preferred
Grow your career and make a difference working at the OSC. Apply online by October 29, 2021.
We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.
**Internal applicants: please apply using the Taleo profile created with your OSC email address**
The OSC is committed to diversity and providing an inclusive workplace. It is our priority to ensure employment opportunities are visible and barrier-free to all under-represented groups including but not limited to, Indigenous, Black and racialized groups, people with disabilities, women and people from the LGBTQ2S community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.
The OSC is a proud partner with the following organizations: BlackNorth Initiative, Canadian Centre for Diversity and Inclusion, and Pride at Work Canada
If you require an accommodation during the recruitment process, please let us know by contacting our confidential inbox HRRecruitment@osc.gov.on.ca. Visit Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.